In the last two years SEC Enforcement has filed record numbers of cases. This is a significant accomplishment. A critical question about those statistics, however, is the composition of the case load. Stated differently, in what areas is the newly …
In the last two years SEC Enforcement has filed record numbers of cases. This is a significant accomplishment. A critical question about those statistics, however, is the composition of the case load. Stated differently, in what areas is the newly …
The SEC is on pace to settle a record number of enforcement actions, according to a new report released by NERA Economic Consulting (here). This trend is being driven by a marked rise in the number of actions against individuals, …
Trends In SEC Enforcement Actions: Focus On Individuals, Insider Trading Read More »